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Nuo Therapeutics, Inc.

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Tapewire entity
7149
SEC CIK
0001091596
Parsed reports
85

Last 12 months

Inside the activity.

2 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202620
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 01, 2025 Filed Aug 4, 2025 13:13 UTC
Mintz PaulDirector
Exercise / conversionCommon Stock 87,500 $0.40 $35,000.00
Disclosure

SEC source: 0001437749-25-024499 · rdgdoc.xml · nonDerivative · entry 1

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 01, 2025 Filed Aug 4, 2025 13:09 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Tax withholdingCommon Stock 21,313 $1.74 $37,084.62
Disclosure

SEC source: 0001437749-25-024497 · rdgdoc.xml · nonDerivative · entry 3

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,146,755

F1 · kind: Represents a net exercise of outstanding stock options. The reporting person received 71,397 shares of common stock on the net exercise of option to purchase 92,710 shares of common stock. The issuer withheld 21,313 shares of common stock underlying the option for payment of the exercise price using the closing price of $1.74.

Read SEC document
August 01, 2025 Filed Aug 4, 2025 13:09 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Exercise / conversionCommon Stock 92,710 $0.40 $37,084.00
Disclosure

SEC source: 0001437749-25-024497 · rdgdoc.xml · nonDerivative · entry 2

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,168,068

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 01, 2025 Filed Aug 4, 2025 13:09 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
Exercise / conversionCommon Stock 100,000 $0.40 $40,000.00
Disclosure

SEC source: 0001437749-25-024497 · rdgdoc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,075,358

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 31, 2025 Filed Aug 4, 2025 13:06 UTC Exercise / conversionCommon Stock 183,853 $0.40 $73,541.20
Disclosure

SEC source: 0001437749-25-024493 · rdgdoc.xml · nonDerivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 770,054

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 30, 2025 Filed Aug 1, 2025 18:03 UTC PurchaseCommon Stock 133,333 $1.50 $199,999.50
Disclosure

SEC source: 0001437749-25-024427 · rdgdoc.xml · nonDerivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,570,833

Read SEC document
July 30, 2025 Filed Aug 1, 2025 22:07 UTC
Pittman Scott M.Director · 10% owner
GrantCommon Stock 3,946 $1.50 $5,919.00
Disclosure

SEC source: 0001437749-25-024429 · rdgdoc.xml · nonDerivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,400,000

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:51 UTC
Pittman Scott M.Director · 10% owner
Exercise / conversionCommon Stock 33,334 $0.50 $16,667.00
Disclosure

SEC source: 0001437749-24-035771 · rdgdoc.xml · nonDerivative · entry 3

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,396,054

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:51 UTC
Pittman Scott M.Director · 10% owner
Exercise / conversionCommon Stock 62,500 $0.40 $25,000.00
Disclosure

SEC source: 0001437749-24-035771 · rdgdoc.xml · nonDerivative · entry 2

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,362,720

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:51 UTC
Pittman Scott M.Director · 10% owner
Exercise / conversionCommon Stock 121,875 $0.40 $48,750.00
Disclosure

SEC source: 0001437749-24-035771 · rdgdoc.xml · nonDerivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,300,220

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 18, 2024 Filed Sep 19, 2024 20:21 UTC PurchaseCommon Stock 125,000 $0.75 $93,750.00
Disclosure

SEC source: 0001437749-24-029634 · rdgdoc.xml · nonDerivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,437,500

Read SEC document
July 17, 2024 Filed Jul 22, 2024 22:58 UTC GrantOption to Purchase Common Stock · Derivative 40,000 $0.33 Strike: $0.33 $13,200.00
Disclosure

SEC source: 0001437749-24-023228 · rdgdoc.xml · derivative · entry 1

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-07-17

F1 · derivative.exercise_date: Options fully vest on one year anniversary of grant.

Read SEC document
July 17, 2024 Filed Jul 22, 2024 22:55 UTC
Pittman Scott M.Director · 10% owner
GrantOption to Purchase Common Stock · Derivative 40,000 $0.33 Strike: $0.33 $13,200.00
Disclosure

SEC source: 0001437749-24-023226 · rdgdoc.xml · derivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-07-17

F1 · derivative.exercise_date: Options fully vest on one year anniversary of grant.

Read SEC document
July 17, 2024 Filed Jul 22, 2024 22:50 UTC
Mintz PaulDirector
GrantOption to Purchase Common Stock · Derivative 25,000 $0.33 Strike: $0.33 $8,250.00
Disclosure

SEC source: 0001437749-24-023224 · rdgdoc.xml · derivative · entry 1

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2034-07-17

F1 · derivative.exercise_date: Options fully vest on one year anniversary of grant.

Read SEC document
May 20, 2024 Filed May 21, 2024 15:14 UTC PurchaseCommon Stock 100,000 $0.75 $75,000.00
Disclosure

SEC source: 0001437749-24-017815 · rdgdoc.xml · nonDerivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,312,500

Read SEC document
May 20, 2024 Filed May 21, 2024 19:13 UTC GrantCommon Stock 15,000 $0.75 $11,250.00
Disclosure

SEC source: 0001437749-24-017814 · rdgdoc.xml · nonDerivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 586,201

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
May 20, 2024 Filed May 21, 2024 19:11 UTC
Pittman Scott M.Director · 10% owner
GrantCommon Stock 135,000 $0.75 $101,250.00
Disclosure

SEC source: 0001437749-24-017813 · rdgdoc.xml · nonDerivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,178,345

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
December 19, 2023 Filed Dec 20, 2023 14:05 UTC PurchaseCommon Stock 150,000 $0.50 $75,000.00
Disclosure

SEC source: 0001437749-23-034984 · rdgdoc.xml · nonDerivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,212,500

Read SEC document
December 19, 2023 Filed Dec 20, 2023 19:04 UTC GrantCommon Stock 20,000 $0.50 $10,000.00
Disclosure

SEC source: 0001437749-23-034982 · rdgdoc.xml · nonDerivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 571,201

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
December 19, 2023 Filed Dec 20, 2023 19:03 UTC
Pittman Scott M.Director · 10% owner
GrantCommon Stock 600,000 $0.50 $300,000.00
Disclosure

SEC source: 0001437749-23-034980 · rdgdoc.xml · nonDerivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,043,345

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
August 01, 2023 Filed Aug 3, 2023 20:18 UTC GrantCommon Stock 25,000 $2.00 $50,000.00
Disclosure

SEC source: 0001437749-23-021950 · rdgdoc.xml · nonDerivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 551,201

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
August 01, 2023 Filed Aug 3, 2023 20:17 UTC
Pittman Scott M.Director · 10% owner
GrantCommon Stock 100,000 $2.00 $200,000.00
Disclosure

SEC source: 0001437749-23-021946 · rdgdoc.xml · nonDerivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,443,345

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
August 01, 2023 Filed Aug 4, 2023 13:41 UTC PurchaseCommon Stock 62,500 $2.00 $125,000.00
Disclosure

SEC source: 0001437749-23-022109 · rdgdoc.xml · nonDerivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,062,500

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:43 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 5,000 $1.50 $7,500.00
Disclosure

SEC source: 0001437749-22-027386 · rdgdoc.xml · nonDerivative · entry 9

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,975,358

F1 · kind: The transactions reported herein were made in private transactions to various persons whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:43 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 7,000 $1.50 $10,500.00
Disclosure

SEC source: 0001437749-22-027386 · rdgdoc.xml · nonDerivative · entry 8

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,980,358

F1 · kind: The transactions reported herein were made in private transactions to various persons whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:43 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 10,000 $1.50 $15,000.00
Disclosure

SEC source: 0001437749-22-027386 · rdgdoc.xml · nonDerivative · entry 7

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,987,358

F1 · kind: The transactions reported herein were made in private transactions to various persons whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:43 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 13,500 $1.50 $20,250.00
Disclosure

SEC source: 0001437749-22-027386 · rdgdoc.xml · nonDerivative · entry 6

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,997,358

F1 · kind: The transactions reported herein were made in private transactions to various persons whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:43 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 20,000 $1.50 $30,000.00
Disclosure

SEC source: 0001437749-22-027386 · rdgdoc.xml · nonDerivative · entry 5

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,010,858

F1 · kind: The transactions reported herein were made in private transactions to various persons whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:43 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 20,000 $1.50 $30,000.00
Disclosure

SEC source: 0001437749-22-027386 · rdgdoc.xml · nonDerivative · entry 4

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,030,858

F1 · kind: The transactions reported herein were made in private transactions to various persons whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:43 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 27,000 $1.50 $40,500.00
Disclosure

SEC source: 0001437749-22-027386 · rdgdoc.xml · nonDerivative · entry 3

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,050,858

F1 · kind: The transactions reported herein were made in private transactions to various persons whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:43 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 30,000 $1.50 $45,000.00
Disclosure

SEC source: 0001437749-22-027386 · rdgdoc.xml · nonDerivative · entry 2

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,077,858

F1 · kind: The transactions reported herein were made in private transactions to various persons whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 23:43 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
SaleCommon Stock 30,000 $1.50 $45,000.00
Disclosure

SEC source: 0001437749-22-027386 · rdgdoc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,107,858

F1 · kind: The transactions reported herein were made in private transactions to various persons whereby the shares of common stock acquired constitute "restricted" securities within the meaning of the Securities Act of 1933, as amended.

Read SEC document
June 06, 2022 Filed Jun 15, 2022 22:18 UTC GrantOption to Purchase Common Stock · Derivative 275,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001437749-22-015095 · rdgdoc.xml · derivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2032-03-04

F1 · date: The grant of these options was approved by the issuer's Board of Directors on March 4, 2022, subject to stockholder approval of an amendment to increase the number of shares available for issuance under the issuer's 2016 Omnibus Incentive Compensation Plan pursuant to which the options were granted. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14C with the SEC on April 27, 2022. The stockholder approval became effective on June 6, 2022.

F2 · derivative.exercise_date: One-third exercisable immediately on 03/04/2022 and the remainder exercisable quarterly over three years.

Read SEC document
April 29, 2022 Filed May 2, 2022 12:21 UTC PurchaseCommon Stock 804,868 $1.00 $804,868.00
Disclosure

SEC source: 0001437749-22-010378 · rdgdoc.xml · nonDerivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000,000

Read SEC document
April 29, 2022 Filed May 2, 2022 16:23 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantCommon Stock 10,532 $1.00 $10,532.00
Disclosure

SEC source: 0001437749-22-010382 · rdgdoc.xml · nonDerivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,137,858

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
April 29, 2022 Filed May 2, 2022 16:23 UTC GrantCommon Stock 25,000 $1.00 $25,000.00
Disclosure

SEC source: 0001437749-22-010381 · rdgdoc.xml · nonDerivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 526,201

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
April 29, 2022 Filed May 2, 2022 16:22 UTC
Pittman Scott M.Director · 10% owner
GrantCommon Stock 100,000 $1.00 $100,000.00
Disclosure

SEC source: 0001437749-22-010379 · rdgdoc.xml · nonDerivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,343,345

F1 · date: Transaction approved by Board of Directors of Issuer and Non-Employee Directors

Read SEC document
March 04, 2022 Filed Apr 27, 2022 01:35 UTC
Mintz PaulDirector
GrantOption to Purchase Common Stock · Derivative 75,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001437749-22-009790 · rdgdoc.xml · derivative · entry 2

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2032-03-04

Read SEC document
March 04, 2022 Filed Apr 27, 2022 01:35 UTC
Mintz PaulDirector
GrantOption to Purchase Common Stock · Derivative 26,666 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001437749-22-009790 · rdgdoc.xml · derivative · entry 1

Mintz Paul · CIK 0001480208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,666

Underlying: Common Stock · 26,666 shares

Expires 2032-03-04

F1 · date: Granted in settlement of compensation liability for period January 1, 2019 through April 30, 2019

Read SEC document
March 04, 2022 Filed Apr 27, 2022 01:34 UTC GrantOption to Purchase Common Stock · Derivative 75,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001437749-22-009789 · rdgdoc.xml · derivative · entry 2

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2032-03-04

Read SEC document
March 04, 2022 Filed Apr 27, 2022 01:34 UTC GrantOption to Purchase Common Stock · Derivative 36,666 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001437749-22-009789 · rdgdoc.xml · derivative · entry 1

WINZER C ERIC · CIK 0001205362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,666

Underlying: Common Stock · 36,666 shares

Expires 2032-03-04

F1 · date: Granted in settlement of compensation liability for period January 1, 2019 through April 30, 2019

Read SEC document
March 04, 2022 Filed Apr 27, 2022 01:32 UTC GrantOption to Purchase Common Stock · Derivative 43,328 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001437749-22-009788 · rdgdoc.xml · derivative · entry 1

CLAUSEN PETER · CIK 0001605411 · CSO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,328

Underlying: Common Stock · 43,328 shares

Expires 2032-03-04

F1 · date: Granted in settlement of compensation liability for period January 1, 2019 through April 30, 2019

Read SEC document
March 04, 2022 Filed Apr 27, 2022 01:31 UTC
Pittman Scott M.Director · 10% owner
GrantOption to Purchase Common Stock · Derivative 100,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001437749-22-009787 · rdgdoc.xml · derivative · entry 2

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-03-04

Read SEC document
March 04, 2022 Filed Apr 27, 2022 01:31 UTC
Pittman Scott M.Director · 10% owner
GrantOption to Purchase Common Stock · Derivative 33,334 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001437749-22-009787 · rdgdoc.xml · derivative · entry 1

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common Stock · 33,334 shares

Expires 2032-03-04

F1 · date: Granted in settlement of compensation liability for period January 1, 2019 through April 30, 2019

Read SEC document
March 04, 2022 Filed Apr 27, 2022 01:29 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantOption to Purchase Common Stock · Derivative 125,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001437749-22-009786 · rdgdoc.xml · derivative · entry 2

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-03-04

Read SEC document
March 04, 2022 Filed Apr 27, 2022 01:29 UTC
JORDEN DAVID EMERSONDirector · CEO/CFO
GrantOption to Purchase Common Stock · Derivative 66,672 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001437749-22-009786 · rdgdoc.xml · derivative · entry 1

JORDEN DAVID EMERSON · CIK 0001313516 · Director · CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,672

Underlying: Common Stock · 66,672 shares

Expires 2032-03-04

F1 · date: Granted in settlement of compensation liability for period January 1, 2019 through April 30, 2019

Read SEC document
March 04, 2022 Filed Nov 19, 2024 22:51 UTC
Pittman Scott M.Director · 10% owner
Exercise / conversionOption to Purchase Common Stock · Derivative 33,334 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001437749-24-035771 · rdgdoc.xml · derivative · entry 6

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 33,334 shares

Expires 2032-03-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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December 30, 2021 Filed Apr 26, 2022 21:28 UTC OtherWarrants to purchase Common Stock · Derivative 1,431,615 $0.00 Strike: $0.20 $0.00
Disclosure

SEC source: 0001437749-22-009785 · rdgdoc.xml · derivative · entry 5

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,431,615 shares

Expires 2022-01-31

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed cancelled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

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December 30, 2021 Filed Apr 26, 2022 21:28 UTC OtherCommon Stock 1,431,615 $0.20 $286,323.00
Disclosure

SEC source: 0001437749-22-009785 · rdgdoc.xml · nonDerivative · entry 1

SHEEDY CHARLES E · CIK 0001005483 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,195,132

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December 30, 2021 Filed Apr 27, 2022 01:26 UTC
Pittman Scott M.Director · 10% owner
Exercise / conversionWarrants to purchase Common Stock · Derivative 900,000 $0.00 Strike: $0.20 $0.00
Disclosure

SEC source: 0001437749-22-009784 · rdgdoc.xml · derivative · entry 6

Pittman Scott M. · CIK 0001674752 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 900,000 shares

Expires 2022-01-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The reported transactions relate to an amendment of the exercise price of outstanding warrants contingent upon the Reporting Person exercising the warrants. As a result, the outstanding warrants were deemed canceled and modified warrants were issued for the same number of shares of Common Stock, but with a reduced exercise price.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.